DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

H• W••••• M••••••••• L••

Former SEC-registered adviserPlymouth Meeting, PennsylvaniaCRD 139160SEC 801-67834IAPD
Latest filing Mar 29, 2017
First filing on the tape Mar 20, 2012 · 24 filings
RAUM
$549M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$549M as of Mar 29, 2017
Mar 20, 2012$288M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 29, 2017
Mar 13, 20135 then
Employees (5.A)7 as of Mar 29, 2017
Mar 13, 20137 then
Private funds: no history
RAUM +23% over the last fiscal year+8.4% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 29, 2017; every figure names its basis
RAUM per advisor
$137MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$439,946derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,249reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• J••• L• · Managing Membercontrol
      since 01/2005 · owns 50% to 75%
    • K•••••• B••••• T•••••• · Managing Member/Chief Compliance Officercontrol
      since 01/2005 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,153 to 1,249
      Sep 20, 2016 to Mar 29, 2017
    • Advisory employees · 5 to 4
      Sep 20, 2016 to Mar 29, 2017
    • Employees · 10 to 7
      Sep 20, 2016 to Mar 29, 2017
    • State-registered IARs · 5 to 4
      Sep 20, 2016 to Mar 29, 2017
    • Discretionary RAUM · $428M to $531M
      Sep 20, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $18.8M to $18.3M
      Sep 20, 2016 to Mar 29, 2017
    • RAUM · $446M to $549M
      Sep 20, 2016 to Mar 29, 2017
    • BD registered reps · 1 to 0
      Sep 19, 2016 to Sep 20, 2016
    • Related broker-dealer · true to false
      Jun 17, 2016 to Sep 19, 2016
    • BD registered reps · 5 to 1
      May 27, 2016 to Jun 17, 2016
    • Employees · 8 to 10
      Mar 25, 2016 to May 4, 2016
    • Accounts · 1,012 to 1,153
      Jun 30, 2015 to Mar 25, 2016
    • Discretionary RAUM · $441M to $428M
      Jun 30, 2015 to Mar 25, 2016
    • Non-discretionary RAUM · $21.5M to $18.8M
      Jun 30, 2015 to Mar 25, 2016
    • RAUM · $463M to $446M
      Jun 30, 2015 to Mar 25, 2016
    • Accounts · 922 to 1,012
      Nov 21, 2014 to Mar 31, 2015
    • Discretionary RAUM · $406M to $441M
      Nov 21, 2014 to Mar 31, 2015
    • Non-discretionary RAUM · $25.3M to $21.5M
      Nov 21, 2014 to Mar 31, 2015
    • RAUM · $431M to $463M
      Nov 21, 2014 to Mar 31, 2015
    • Advisory employees · 4 to 5
      Mar 27, 2014 to Nov 21, 2014
    • BD registered reps · 3 to 5
      Mar 27, 2014 to Nov 21, 2014
    • Employees · 7 to 8
      Mar 27, 2014 to Nov 21, 2014
    • State-registered IARs · 4 to 5
      Mar 27, 2014 to Nov 21, 2014
    • Accounts · 823 to 922
      May 15, 2013 to Mar 25, 2014
    • Advisory employees · 5 to 4
      May 15, 2013 to Mar 25, 2014
    • State-registered IARs · 5 to 4
      May 15, 2013 to Mar 25, 2014
    • Discretionary RAUM · $325M to $406M
      May 15, 2013 to Mar 25, 2014
    • Non-discretionary RAUM · $27.2M to $25.3M
      May 15, 2013 to Mar 25, 2014
    • RAUM · $352M to $431M
      May 15, 2013 to Mar 25, 2014
    • Accounts · 765 to 823
      Oct 1, 2012 to Mar 13, 2013
    • Advisory employees · unset to 5.0
      Oct 1, 2012 to Mar 13, 2013
    • BD registered reps · unset to 3.0
      Oct 1, 2012 to Mar 13, 2013
    • Employees · unset to 7.0
      Oct 1, 2012 to Mar 13, 2013
    • State-registered IARs · unset to 5.0
      Oct 1, 2012 to Mar 13, 2013
    • Discretionary RAUM · $258M to $325M
      Oct 1, 2012 to Mar 13, 2013
    • Non-discretionary RAUM · $29.3M to $27.2M
      Oct 1, 2012 to Mar 13, 2013
    • RAUM · $288M to $352M
      Oct 1, 2012 to Mar 13, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026